Alan S. Wardyga
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Alan Stephen Wardyga was a registered financial professional .
Alan is a previously registered financial professional and started their career in finance in 1991. Alan had worked at 3 firms and has passed the Series 65, Series 63, SIE, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 5, 1999 - February 2, 2017
WEALTH MANAGEMENT RESOURCES, INC.
April 18, 1996 - February 2, 2017
WEALTH MANAGEMENT RESOURCES, INC.
December 5, 1994 - December 31, 1998
COMMONWEALTH FINANCIAL NETWORK
December 5, 1991 - December 31, 1994
GUARDIAN INVESTOR SERVICES LLC
Primary Firm SEC Registration
WEALTH MANAGEMENT RESOURCES, INC.
CRD#: 45452 / SEC#: 801-57281, 8-51061
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
WEALTH MANAGEMENT RESOURCES, INC.
CRD#: 45452 / SEC#: 801-57281, 8-51061
Contact information
SEC notice filing (11 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,397 |
| AUM (Assets Under Management) | $ 385,218,918 |
Disclosures
| Regulatory Event | 2 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
